CFTC Orders Interdealer Broker to Pay $13 Million for Supervisory Failures and False Statements
September 13, 2019
September 13, 2019
WASHINGTON, Sept. 13 -- The Commodity Futures Trading Commission issued the following enforcement news release:
The U.S. Commodity Futures Trading Commission today issued two orders filing and settling charges against Tullett Prebon Americas Inc., an interdealer broker and CFTC-registered introducing broker headquartered in New Jersey. The combined orders require Tullett to pay a total of $13 million for failing to supervise employees and making false or misleading statements to CFT . . .
The U.S. Commodity Futures Trading Commission today issued two orders filing and settling charges against Tullett Prebon Americas Inc., an interdealer broker and CFTC-registered introducing broker headquartered in New Jersey. The combined orders require Tullett to pay a total of $13 million for failing to supervise employees and making false or misleading statements to CFT . . .